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C•••••• F••• M••••••••• A• D••••••••• O• C•••••• T•••• B•••

Former SEC-registered adviserFormer SEC adviser· Bloomington, Illinois

Former SEC-registered adviser, based in Bloomington, Illinois, reporting $532M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$532M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+14%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 3 Form ADV filings for this adviser, the latest 13.4 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 144554 · SEC 801-68151 · 3 filingsShow
CRD 144554SEC 801-68151Legal name C•••••• T•••• B•••First filing on the tape Feb 22, 2012, latest Jun 6, 2013IAPD
RAUM
$532M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
31
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$532M as of Feb 1, 2013
Feb 22, 2012$468M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 1, 2013
Feb 22, 20120 then
Employees (5.A): 31
Private funds: no history
RAUM +14% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 6, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$266MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• K•••• F••••••• · Chief Executive Officercontrol
        since 01/2012 · owns less than 5%
      • D••••• A•••• K•••• · Executive Officercontrol
        since 04/2009 · owns less than 5%
      • H•••••••• W•••• V••••• · Executive Officercontrol
        since 01/2011 · owns less than 5%
      • M••••••••• B••••••• L•••••• · Chief Compliance Officer
        since 06/2007 · owns less than 5%
      Entity owners
      • C•••••• L••• I•••••••• C•••••• · Shareholder
        direct · owns 75% or more
      • I••••••• A••••••••• A••••••••• · Shareholder
        indirect · owns 75% or more of I••••••• A••••••••• A••••••••• Holding Company
      • I••••••• A••••••••• H•••••• C• · Shareholder
        indirect · owns 75% or more of C•••••• L••• I•••••••• C••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 14.0
        Feb 22, 2012 to Feb 1, 2013
      • Employees · unset to 31.0
        Feb 22, 2012 to Feb 1, 2013
      • Discretionary RAUM · $468M to $532M
        Feb 22, 2012 to Feb 1, 2013
      • RAUM · $468M to $532M
        Feb 22, 2012 to Feb 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026